Accreditation and CLE Rules for New Jersey

National Academy of Continuing Legal Education is a NJ Accredited CLE Provider. You can see our official approval letter here: NACLE NJ Approval Letter. NJ Attorneys may earn both Live and Self-Study hours through the National Academy of Continuing Legal Education. You can satisfy your entire requirement & save the most by bundling a NACLE Self-Study CLE Package with a NYCLA “Live Pass”. Self-Study courses are available in a variety of convenient formats including Instant Online CLE, DVDs and Audio CDs. Live Passes can be used at any NYCLA lecture on our calendar. Rule 201:3 Carryover - A total of twelve credit hours may be carried over to a subsequent compliance period.

Each active New Jersey attorney is
permanently assigned to one of two compliance groups for CLE purposes.

Group 1 is attorneys with birthdays in January through June and must complete their CLE by 12/31 every odd numbered year (2017, 2019, etc…)

Group 2 is attorneys with birthdays in July through December and must complete their CLE by 12/31 every even numbered year (2018, 2020, etc…)

New Jersey CLE - Finance and Banking Courses

This is a listing of Finance and Banking CLE Courses for New Jersey.
Please make your selection below of New Jersey CLE courses. Our courses are available on Audio CD, DVD, Online, & Smartphone.
Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.

This CLE program provides guidance on supervising independent contractors. This panel of FINRA staff and industry members addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance, and shares effective industry practices.
After attending this session, you will be able to:
Understand the risk associate...

This CLE program provides guidance on Customer Due Diligence Rule. Join FINRA Staff and industry experts as they discuss the proposed rule and steps firms can take to meet the requirements.
After attending this session, you will be able to:
Summarize and explain FinCEN’s Customer Due Diligence Rule.
Understand rule requirements.
Identify steps firms have taken to meet the requirements.

This CLE program provides information regarding current fraud schemes from the front line regulators.
After attending this session, you will be able to:
Understand emerging trends in securities fraud and identify potential threats.
Identify potential red flags associated with different types of financial fraud.
Know who to contact to report potential fraud.

This CLE session provides and overview of new developments and trends in enforcement, including enforcement priorities, as well as policy changes and clarifications, particularly regarding information requests. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices. Panelists will also provide information and insight on navigating enforcement investigations and the disciplinary process.
After a...

This CLE program will highlight institutional fixed income and equity sales and trading compliance concerns and related risk controls. Compliance professionals in these business lines face an array of challenging issues, everything from conflicts of interest to rogue and manipulative activity, which present varying levels of risk to their firms. After attending this session, you will be able to understand the business issues and regulatory concerns they confront on a daily basis and the most...

This CLE program provides an overview of the roles and responsibilities of clearing and introducing firms. This session is intended to assist firms in making the most of the relationship with their clearing firm. Panelists discuss the roles and responsibilities of clearing and introducing firms, types of reports and services that clearing firms offer, and practices for integrating these tools into introducing firms’ compliance processes.
After attending this session, you will be able to:...

This CLE program provides efficient practices for the use of digital media. Join FINRA and industry social media and digital compliance experts as they discuss current and future trends. Topics will include how firms are addressing the compliance risks associated with social media and messaging services, the increased use of mobile, the evolution of live content and new capabilities, and practical compliance tips for native advertising, testimonials, and links to BrokerCheck.
After atte...

This CLE session discusses cybersecurity risks faced by small firms and measures they can take to control those risks on a limited budget. Panelists share their perspectives on determining a firm's cybersecurity priorities (or risk appetite) along with useful practices for designing and implementing a cost-effective Cybersecurity risk management program. Attendees will also learn about the cybersecurity resources available through FINRA’s website.
After attending this session, you will...

This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with the suitability rule. They also discuss the intersection of suitability requirements with recent timely industry issues, such as senior customers, sales of complex products, IRA rollovers,...

This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel.
After attending this session, you will be able to:
Compare and contrast the distinction between the first and second lines of defense.
Understand the challenges facing co...

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